The Director of Brokerage Operations is responsible for leading the brokerage operations team by both oversite of the day to day and in addition by thinking strategically about implementing the right policy, procedures and technology required to scale back office operations in the near and long term. This person will help set the vision to build a modern, paperless back office and remove customer pain points which are a result of operational inefficiencies. This person will be expected to prepare materials and present to both senior management and regulatory bodies (FINRA, SEC, etc.) This role will have a high-level understanding of all the regulatory requirements for various brokerage functions: processing client’s accounts including cashiering, funds movement, new accounts, ACAT’s CIP and for the Client Services functions supporting Ally Invest.